Richard J. Leukart

CHARTER OAK ASSET MANAGEMENT

Cheshire, CT 06410-1276

Some features on this profile are disabled

CRD#: 1356408

Professional summary

Richard Jeffrey Leukart is a registered financial advisor currently at CHARTER OAK ASSET MANAGEMENT, INC. located in Cheshire, Connecticut.

Richard is registered as an IAR (Investment Advisor Representative) and started their career in finance in 1985. Richard has worked at 2 firms and has passed the Series 63, Series 65, SIE, Series 6 and Series 7 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

None

Other business activities

Outside business activity is any business or activity undertaken by an advisor that is outside the scope of their relationship with their firm (e.g., consulting services, real estate, freelance work, teaching, etc.). Investors should stay informed about these activities to ensure no conflicts of interest.

Seventy West, LLC 1256 Rice Avenue, Cheshire, CT 06410 Co-owner. Established LLC to own and manage rental property purchased 7/1/13. Act as agent/manager/landlord and work an average of 10-25 hours per month before or after regular securities trading hours. Manage building maintenance & improvement, tenant leases, record keeping. Also, incorporated within my normal Charter Oak workday I am licensed to sell Life, Accident & Health Insurance to potential and existing clients should there be a need typically allocating less than 10 hours per month on this activity.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Richard Jeffrey Leukart's CRS (Customer Relationship Summary).

Certified licenses

Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®

None

Experience

Current

July 17, 2009 - Present

CHARTER OAK ASSET MANAGEMENT, INC.

Office #1: 1520 Highland Ave, Cheshire, CT 06410-1276

RIA

CRD#: 27823

Cheshire, CT

Past

September 7, 2009 - February 10, 2020

CHARTER OAK ASSET MANAGEMENT, INC.

CRD#: 27823

CHESHIRE, CT

Past

April 23, 1985 - October 7, 1986

HORNOR, TOWNSEND & KENT, LLC

CRD#: 4031

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

IAR

means the advisor is registered as an Investment Advisor Representative in this state and is authorized to provide investment advice to clients there.

Highlighted states indicate IAR registrations

IAR

Connecticut
(7/17/2009)

Don't see your state listed? The advisor may still be able to work with you under the federal De Minimis Rule, which allows up to five investment advisory clients in a state without registration. Some states, like TX, LA, NE, and NH, may still require registration or notice filing. Contact the advisor or their firm to confirm their investment advisory availability in your state.

Exams

State Security Law Exam

Series 63

Date: 8/20/2009

Uniform Securities Agent State Law Examination

State Security Law Exam

IAR

Series 65

Date: 7/16/2009

Uniform Investment Adviser Law Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 6

Date: 9/3/2009

Investment Company Products/Variable Contracts Representative Examination

General Industry/Product Exam

Series 7

Date: 4/20/1985

General Securities Representative Examination

Current Firm

CHARTER OAK ASSET MANAGEMENT, INC.

BARBA CAPITAL MANAGEMENT, INC. | CHARTER OAK ASSET MANAGEMENT, INC.

CRD#: 27823 / SEC#: 801-29853, 8-43213

RIA

Registered Investment Advisory firm - SEC (7/2/2009 Terminated)

Connecticut

Registered Investment Advisory firm - SEC (6/23/2009 Approved)

Florida

Registered Investment Advisory firm - SEC (10/25/2011 Approved)

Terminated by SEC on 02/10/2020

Why is a state registration marked "Terminated"? When a firm registers with the SEC (usually after managing $100M+ AUM), it often withdraws separate state firm registrations unless required by that state. The firm can still serve clients there through its individually registered Investment Advisor Representatives (IARs).

Upgrade to AdvisorCheck Premium

Get A Biweekly Pulse, AutomaticallyReceive biweekly alerts automatically. Stay informed and proactive.

Catch Firm-Level Red Flags SoonerCatch leadership changes and disclosures early, before issues escalate.

See Trends. Not Just SnapshotsMonitor firm stability metrics like AUM and advisor ratios over time.

Contact information

Main Address

1520 Highland Ave, Cheshire, CT 06410-1276

Mailing Address

Phone number

203-272-3597 X1

Established

Connecticut since 02/27/1987

Firm type

Corporation

Fiscal year end

December

# of Employees

Documents

Latest Form ADV

Direct owners and executive officers

Name	Position	CRD#
MALIK, ROBERT STEPHEN	PRESIDENT, CEO, CHIEF COMPLIANCE OFFICER	2107893

Regulatory assets under management

Total Number of Accounts	235
AUM (Assets Under Management)	$ 66,829,784

Red Flags

Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.

Check for any disclosures as part of your thorough research when choosing an advisor.

Similar Advisors

Jeffrey Meotti

MORGAN STANLEY

IAR

MADISON, CT

Samuel Kaplowitz

BREACHWAY INVESTMENTS, LLC

IAR

West Hartford, CT

Michael Chadwick

FISCAL WISDOM WEALTH MANAGEMENT LLC

IAR

Canton, CT

Why Advisor Check

We're Here To Help

Advisor Monitoring

Firm Stability Insights

Richard J. Leukart

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Richard Jeffrey Leukart's CRS (Customer Relationship Summary).

Certified licenses

Experience

CHARTER OAK ASSET MANAGEMENT, INC.

CHARTER OAK ASSET MANAGEMENT, INC.

HORNOR, TOWNSEND & KENT, LLC

State Registrations and Notice Filings

Exams

Series 63

Date: 8/20/2009

Series 65

Date: 7/16/2009

SIE

Date: 10/1/2018

Series 6

Date: 9/3/2009

Series 7

Date: 4/20/1985

Current Firm

CHARTER OAK ASSET MANAGEMENT, INC.

Contact information

Documents

Direct owners and executive officers

Regulatory assets under management

Red Flags

Company Information

CHARTER OAK ASSET MANAGEMENT, INC.

TRUST BUT VERIFY

Similar Advisors